| 13-03690 | 07/30/2015 | Claimant(s): Maria Lopez-Almaguer
Claimant Lawyers(s): Rafael E. Lugo-Sotomayor
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. of P.R.
Respondent Lawyers(s): Matthew E. Wolper
Arbitrator(s): Raymond C. Kerr, Allen M. Kerpan, Richard Merritt Langway
Hearing Site: San Juan, PR
|  | Expungement |
| 13-01372 | 03/12/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jack D. Ballard
Respondent(s): Jaime Morales
Respondent Lawyers(s): Jaime Morales
Arbitrator(s): Raymond C. Kerr
Hearing Site: Houston, TX
| | |
| 12-01859 | 10/16/2013 | Claimant(s): Joan Teachworth, Walter Teachworth
Claimant Lawyers(s): Mark C. Watler
Respondent(s): Charles Schwab & Co.., Charles Schwab Investment Management,
Respondent Lawyers(s): Michael West
Arbitrator(s): Mary Ann Tunick, Thomas A. Cipolla, Raymond C. Kerr
Hearing Site: Houston, TX
| | Expungement |
| 13-01378 | 09/04/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): R. Rhett Owens
Respondent(s): Chadrick Kelly
Respondent Lawyers(s): Chadrick D. Kelly
Arbitrator(s): Raymond C. Kerr
Hearing Site: New Orleans, LA
| | |
| 11-04621 | 11/08/2012 | Claimant(s): Morgan Keegan & Company.
Claimant Lawyers(s): William McCourt Schmitt
Respondent(s): George Popov
Respondent Lawyers(s): L. Jerome Stanley
Arbitrator(s): Raymond C. Kerr
Hearing Site: New Orleans, LA
| | |
| 09-06655 | 03/09/2011 | Claimant(s): Adela Collado, Charles Colvin, Daniel Sears, Dawn Schuessler, Don Jones, Elizabeth Stein, Jimmy Burke, Jose Collado, Judy Strickland, Kenneth Sears, Nancy Gordon, Peggy Burke, Reine Sears, Richard Arispe, Shana Stein, Susan Hackney, Suzann Jones, Todd Burke, William Rhodes, C & C Erection Inc.
Claimant Lawyers(s): Paul J. Dobrowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Stephen C. Carlin
Arbitrator(s): Thomas A. Martin, Raymond C. Kerr, Maurice J. Fallas
Hearing Site: Houston, TX
| | $0 |
| 10-03240 | 02/07/2011 | Claimant(s): Delayne Sigerman, Michael Sigerman
Claimant Lawyers(s): Michael Sigerman
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Thomas F. Kopshever
Arbitrator(s): Raymond C. Kerr
Hearing Site: Houston, TX
| | $0 |
| 09-04485 | 12/08/2010 | Claimant(s): Beverly Ginn, Russell Ginn, CVWT, LLP, Ginnwey Investments
Claimant Lawyers(s): Timothy M. McDaniel
Respondent(s): Alliance Bernstein, Bernstein Global Wealth Management, Sanford C. Bernstein & Co.
Respondent Lawyers(s): Sean M. Murphy
Arbitrator(s): Raymond C. Kerr, Joshua D. Wallach, Deirdre Renee Fuller
Hearing Site: Houston, TX
| | $200,000 |
| 09-02511 | 06/10/2010 | Claimant(s): AJ Waight, Suann Waight
Claimant Lawyers(s): Mark Schwartz
Respondent(s): John Gorman, Robert Gillette, Tejas Securities Group., Tejas Securities.
Respondent Lawyers(s): Jamie Rose, Robert Edward Gillette, Thomas L. Branch
Arbitrator(s): Raymond C. Kerr, Carlton A. Butler, Austin Martin O'Toole
Hearing Site: Houston, TX
| | $0 |
| 08-00858 | 06/05/2009 | Claimant(s): Alan Meinen, Jane Meinen, The Meinen Family Partnership, Ltd.
Claimant Lawyers(s): Melanie D. Bragg
Respondent(s): Shawn Goheen, American General Securities Incorporated
Respondent Lawyers(s): David K. Bissinger, Melinda Lucas Peevy
Arbitrator(s): Raymond C. Kerr, James E. Lane, Mark Edward Tredennick
Hearing Site: Houston, TX
| | $1,301,250 |
